Chapter 03 - Government Records Management

The rules contained in this chapter are issued pursuant to 4.1205 ASCA and in conformity with Chapter 4.10 ASCA. These rules establish certain records management procedures, intended to improve the economy and efficiency of records maintenance and disposition, which are to be used by all agencies of the government.

Section 4.1206 ASCA establishes certain agency responsibilities for records. Under these responsibilities, the head of each agency is to:

(1) submit to the archivist for administration, disposition, and preservation the records in agency custody not needed for the transaction of current business, in accordance with standards and policies adopted by the archivist;

(2) establish and maintain programs, in accordance with standards and procedures established by the archivist, for the economical and efficient management, maintenance, and disposition of agency records;

(3) make and maintain records containing adequate and proper documentation of the objectives, functions, policies, decisions, procedures, and essential transactions of the agency.

Each agency shall take appropriate measures to identify and protect those records essential for the continuity of government operations and the protection of the rights and interests of individuals in the event of an emergency or disaster. Effective measures to meet these ends include the microfilming of appropriate records and the use of secure filing equipment and facilities.

Each agency shall make provision to ensure that records of continuing value are preserved but that records no longer of current value to the agency are promptly disposed of or retired. Effective techniques for accomplishing these ends are the development of records schedules, the transfer of records to the government records center or archives, the microfilming of appropriate records, and the destruction of valueless records.

Agency programs for the creation, maintenance, and use of current records; for the protection of vital records; for the selective retention of records of continuing value; and for the disposal of noncurrent records will be inspected periodically by the archivist to determine agency compliance with 4.1206 ASCA and with rules set forth in this chapter, to evaluate the effectiveness of agency records management programs and practices, and to provide records management assistance and advice. Copies of inspection reports will be provided to the agency head, the Governor, and the Legislature.

Under 4.1205(1)(C), the archivist is to establish standards, regulations, and procedures for the disposal of records which do not, or will not after a lapse of time possess sufficient administrative, legal, fiscal, historical, or other research value to warrant their further retention. Under 4.1205(2) and (3), the archivist is to identify and select the archives of the government and to establish, maintain, and operate a government records center for storing and servicing agency records pending further disposition.

Each agency is to maintain and apply an agency records schedule, approved by the archivist and on a form prepared by the archivist, for all records of the agency. Such schedules shall include a comprehensive list of the types or series of records of the agency and shall specify the proper disposition of each type or series by providing instructions for:

(1) the retention of all records of continuing value;

(2) the destruction or other disposal of records of no further value;

(3) the removal to the government records center of agency records which are not suitable for either immediate destruction or transfer to the archives but are no longer actively needed in agency space;

(4) the transfer of custody to the government archives of those records of permanent value which are no longer actively needed in agency space. Records of permanent value are those which have been determined by the archivist, on the basis of current archival standards, to have sufficient value to warrant preservation in the government archives.

(a) A draft schedule shall be prepared by the agency and archivist, indicating the record types or series made or received by the agency and proposed disposition instructions for each type. Disposition instructions shall be based on analysis of the administrative, legal, fiscal, audit, historical, and other values of each record type. Such analysis shall be consistent with current standards of records management and archival practice.

(b) The archivist shall forward the draft schedule to the attorney general, treasurer , and territorial auditor for their review and comments based, respectively, on the legal, fiscal, and audit values of the record types included on it. Any comments shall be returned to the archivist within 20 days.

(c) The archivist, after review of comments received under subsection (b) and any appropriate modifications of the draft schedule, shall prepare and approve an agency records schedule which shall be submitted to the head of the agency for approval. The approval of each shall represent their certification that the records recommended for disposal will not have sufficient administrative, legal, fiscal, audit, historical, or other value to warrant retention beyond the expiration of their specified periods. Upon approval by the archivist and the head of the agency, the schedule shall be considered an approved agency records schedule.

Agencies and the archivist shall review agency records schedules periodically to ensure that they are kept up-to-date and accurate. Record types may be added to or deleted from an agency records schedule or disposition instructions altered on an agency records schedule by following the procedures indicated in 2.0309, specifying the additions, deletions, or alterations which are being considered.

The archivist may prepare and approve general records schedules governing the disposition of record types which are common to several or all agencies. Such schedules shall be based upon analysis of the administrative, legal, fiscal, audit, historical, and other values of each record type, consistent with current standards of records management and archival practice. Before approval of a general records schedule, the archivist shall forward copies of the proposed schedule to the attorney general, treasurer, and territorial auditor for their review and comments based, respectively, on the legal, fiscal, and audit values of the record types included on it. Any comments shall be returned to the archivist within 20 days. The archivist, after review of comments received and any appropriate modifications, shall prepare and approve a general records schedule, certifying that the records recommended for disposal will not have sufficient administrative, legal, fiscal, audit, historical, or other value to warrant retention beyond the expiration of their specified periods. Copies of general records schedules shall be made available to agencies.

The archivist may add record types to or delete record types from a general records schedule or alter the disposition instructions on a general records schedule by following the procedures indicated in 2.0311, specifying the additions, deletions, or alterations which are being considered.

The use of agency records schedules and general records schedules is mandatory. Records scheduled for destruction or transfer to the archives shall not be maintained longer by an agency without approval of the archivist, nor shall records be destroyed prior to the expiration of their specified retention periods. In case of conflict between the disposition instructions on an agency records schedule and a general records schedule, the instructions on the agency records schedule shall apply to that agency.

An agency intending to destroy, sell as scrap, purge, or otherwise discard any temporary records shall forward to the archivist a notification of the proposed action at least 15 days in advance of the intended action. Such a notification shall be on a form prepared by the archivist and may be either a notice of one-time records destruction or a plan for continuing records destruction over a period of time. In both cases, such notification shall indicate the records to be destroyed, their quantity or other appropriate measure, their inclusive dates, and reference to the records schedule governing their disposition. No records may be destroyed unless they have been properly scheduled and notification of their intended disposition has been sent to the archivist in accordance with this rule. The archivist shall prohibit any records destruction which is not in conformity with these rules and approved schedules.

Records may be transferred by an agency to the government records center operated by the archivist provided that:

(a) the records are properly scheduled;

(b) the records are not eligible for immediate destruction but are no longer actively needed in agency space; and

(c) facilities for storing and servicing the records are available. Records being transferred should be in such condition that they are suitable for servicing by the records center. Agency records stored at the records center shall be considered to be maintained by the agency which deposited the records and all use of such records shall be consistent with agency policies or procedures. An agency may withdraw any or all of its records from the records center upon notice to the archivist.

Records stored at the records center which become eligible for destruction shall be destroyed by the archivist in accordance with approved records schedules. The archivist shall notify the depositing agency of the intention to destroy the records at least 30 days prior to their intended destruction. Upon request of the agency, stating justification for continued retention of the records, and with the approval of the archivist, these records may be held for an additional period of time. Ordinarily, agency requests for the records center to retain records for more than 1 year after the expiration of their scheduled retention periods should be accompanied by a request to the archivist to revise the disposition instructions on that schedule governing the records.

An agency, in accordance with disposition instructions on an approved records schedule and with the approval of the archivist, shall transfer to the government archives operated by the archivist those records of permanent value which are no longer actively needed in agency space of which have been stored in the records center pending scheduled transfer to the archives. Upon transfer, the archivist shall become responsible for the physical and legal custody, use, and withdrawal of the records. Provision for any agency needs which may affect the archivist's management of the records shall be agreed to by the archivist and the head of the agency in advance of the transfer of records.

(1) retain custody of temporary records beyond the time when they are scheduled for destruction; or

(2) retain custody of permanent records beyond the time when they are scheduled for transfer to the archives; shall request authorization from the archivist, indicating the justification for continued custody and the estimated duration of the continued custody. These requests will be granted based upon adequate justification, however agency requests to retain custody of records for more than 1 year after scheduled destruction or transfer should ordinarily be accompanied by a request to the archivist to revise the disposition instructions on that schedule governing the records.

All records of agencies are the property of the government. No agency may transfer physical or legal custody of its records except to a successor agency, to an agency having administrative or other official need of the records, under provisions of any applicable laws or administrative rules, or with approval of the archivist. All records which are transferred under these provisions remain subject to applicable records schedules.

Authorization for disposition actions which, due to exceptional circumstances or emergencies, will not be in conformity with these rules may be requested of the archivist by the head of an agency. Such requests should provide justification for the proposed actions. The archivist shall consider these requests and make determinations of appropriate actions based upon the stated justification and the circumstances.

Under 4.1205(1)(E), the archivist is authorized to establish standards, regulations, and procedures for the reproduction and maintenance of records by micrographic, photographic, magnetic, or other processes. Reproductions made in compliance with these standards have the same force and effect as the originals would have and are treated as originals for audit, admissibility as evidence, and other similar purposes.

Agencies may utilize micrographics for the reproduction of records, provided that such use is determined by the agency to be economical and efficient for the care, maintenance, retrieval, security, and preservation of the records. Before microfilming, agencies should especially consider the retention value of the original records, their importance to the agency, and the quality and durability of the microfilm which will be produced.

Micrographic processes and the storage and use of resulting microfilm should comply, insofar as is possible, with current minimum standards approved by the American National Standards Institute and the Association for Information and Image Management. Such compliance is especially important when microfilm is to be substituted for original records of long-term or permanent value.

Original records which have been microfilmed may be destroyed, unless otherwise prohibited by law or regulation, by complying with 2.0314 of this chapter, indicating that the microfilm is being substituted for the original records for the remainder of the assigned retention period. Approval for destruction will be given by the archivist based upon satisfactory demonstration that the microfilm accurately and completely reproduces the original records and will be of acceptable quality for the duration of the assigned retention period. The archivist may require the retention of original records of permanent value which are deemed to have sufficient intrinsic value, in their original form, to require preservation in that form.